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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2017-12-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Professionals Inc | San Antonio | TX | 09/2012 | 12/2017 |
| Lpl Financial Llc | Zanesville | OH | 11/2017 | Present |
| North Valley Bank | Zanesville | OH | 09/2012 | Present |
1) 12/07/2017 - North Valley Investment Partners - inv rel - at reported business location(s) 2) 12/07/2017 - North Valley Bank - Financial Institution Duty - inv rel - at reported business location(s) - start: 09/2012 - 160 hr/mth 3) 12/07/2017 - Notary - non-inv rel - state of OHIO - start: 2003 4) 12/07/2017 - Franklin Local School Board - Not Investment Related - 360 Cedar Street, Duncan Falls, OH 43734 - Non-Profit Board Member - Start Date: 01/2013 - 0 Hours During Securities Trading - Time Spent 5% - Board Member of school district. 5) 01/26/2018 - North Valley Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/01/2018 - 20 Hours Per Month/20 Hours During Securities Trading. 6. 07/25/2019 - North Valley Insurance Services LLC - Investment related - At reported business location(s) - Financial Institution Duty - start date:07/01/2019 - 1 hr/mo - 1 hr during trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-11-04 |
| S65 | Uniform Investment Adviser Law Examination | 2015-06-05 |
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